Series 65

As you probably know, the first step to becoming an RIA is to pass your Series 65 exam. Without it, you’re stuck in a rut, but it can be time-consuming and complicated to pass, especially if you’re already occupied with other jobs. Series 65 is also just the beginning- there are plenty more hurdles to cross before you can begin offering RIA services. Fortunately, RIA Compliance Concepts is here to help you.

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Our firm is one of the leading RIA compliance consulting firms because we employ the brightest and most reliable advisers. No matter what your background, your goals, or your education, we can tailor our services to fit your needs and guide you to success. While you will be challenged along your path to becoming an RIA, we will find ways to expedite the process whenever possible. For example, in many states, you can bypass the Series 65 as long as you hold an additional valued qualification such as the CFP or CFA designation.

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In order to be in compliance with the SEC and state securities regulators, you need to file regulatory paperwork on a regular basis. We have been filing this paperwork for years and are more than capable of making sure you have all the required documents submitted well before they are required. Our goal is to keep you fully responsible and proactive when it comes to all of the necessary regulatory bodies. We also assist with regular risk assessments designed to make sure that your RIA compliance program is in compliance with all rules and regulations.

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When it comes to RIA compliance consulting firms, RIA Compliance Concepts stands out from the crowd. We’re here to provide guidance with your Series 65, CFP, and CFA requirements, and then take your new RIA firm onward to success.